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3 events,

SIFMA Annual Meeting

SIFMA Annual Meeting

Supplementary Inventory Schedule Reporting period end date of 08-31-2018

Supplementary Inventory Schedule Reporting period end date of 08-31-2018

Annual Audit Filing Due Date (Period Ending 7/31/2018)

Annual Audit Filing Due Date (Period Ending 7/31/2018)

1 event,

1 event,

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FINRA Half-Day Compliance Boot Camp – District 11 – Boston

0 events,

0 events,

0 events,

0 events,

0 events,

0 events,

0 events,

0 events,

0 events,

0 events,

0 events,

1 event,

FINRA Rule 4530/Customer Complaint Filing Due Dates (Q3 2018)

FINRA Rule 4530/Customer Complaint Filing Due Dates (Q3 2018)

0 events,

1 event,

AICPA and SIFMA FMS National Conference on the Securities Industry

AICPA and SIFMA FMS National Conference on the Securities Industry

2 events,

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FINRA Half-Day Compliance Boot Camp District 10 – Long Island

1 event,

0 events,

0 events,

2 events,

0 events,

3 events,

Quarterly FOCUS Part llA Filings (Quarter ending 09/30/2018)

Quarterly FOCUS Part llA Filings (Quarter ending 09/30/2018)

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FINRA Half-Day Boot Camp – New York – District 10

0 events,

1 event,

Outside Business Activity Review (FINRA Rule 3270)

Outside Business Activity Review (FINRA Rule 3270)

0 events,

0 events,

4 events,

Supplementary Inventory Schedule Reporting period end date of 09-30-2018

Supplementary Inventory Schedule Reporting period end date of 09-30-2018

SEC Request for Comments: Amendment to Single Issuer Exemption for Broker-Dealers

SEC Request for Comments: Amendment to Single Issuer Exemption for Broker-Dealers

Disclosure of Order Routing Practices (SEC Rule 606) (Q3 2018)

Disclosure of Order Routing Practices (SEC Rule 606) (Q3 2018)

Quarterly SSOI Supplemental FOCUS Information (Quarter ending 09/30/2018)

Quarterly SSOI Supplemental FOCUS Information (Quarter ending 09/30/2018)

2 events,

2018 North Region Member Forum – Boston

2018 North Region Member Forum – Boston

Annual Audit Filing Due Date (Period Ending August 31, 2018)

Annual Audit Filing Due Date (Period Ending August 31, 2018)

3 events,

MSRB Rule G-37 Quarterly Reporting Deadline Q3 2018

MSRB Rule G-37 Quarterly Reporting Deadline Q3 2018

Form OBS Quarterly filing due for Q3 2018

Form OBS Quarterly filing due for Q3 2018

1 event,

0 events,

0 events,

0 events,

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